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HOW OFTEN SHOULD APPRAISALS BE DONE? ANNUALLY (Once a year) SEMI-ANNUALLY (every 6 months) QUARTERLY (every 3 months) MONTHLY CONTINUOUSLY WHEN SHOULD APPRAISALS BE DONE? DO ALL THE APPRAISALS AT ONE TIME A lot of work to do at one time..overworks the supervisor All appraisals cover the same time period DO EACH ONE ON THE EMPLOYEE’S “ANNIVERSARY” The appraisal process is spread over the whole year Appraisals are not comparable…they don’t cover the same time period
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PERFORMANCE APPRAISALS
HUMAN RESOURCE DEPARTMENTDesigns the performance appraisal systemEstablishes and monitors a reporting systemTrains managers in how to conduct appraisalsSafeguards performance appraisal records
MANAGERS & SUPERVISORSEvaluates employee performanceCompletes the appraisal documents and formsReviews appraisals with employees
WHAT IS THE PURPOSE OF THE APPRAISAL?
JUDGMENTAL – To make administrative decisions (To justify rewards given for performance)
DEVELOPMENTAL – To improve performance(To provide feedback for learning and work improvement)
You cannot accomplish both purposes equally well with a single appraisal system. Some appraisal tools are better at generating good feedback than providing a consistent rationale for a judgment. Similarly, negative feedback generated by judgmental appraisals is unlikely to motivate the employee to work harder to improve performance. If both appraisal objectives are important, separate assessment systems should be created.
HOW OFTEN SHOULD APPRAISALS BE DONE?
• ANNUALLY (Once a year)• SEMI-ANNUALLY (every 6 months)• QUARTERLY (every 3 months)• MONTHLY• CONTINUOUSLY
WHEN SHOULD APPRAISALS BE DONE?
DO ALL THE APPRAISALS AT ONE TIMEA lot of work to do at one time..overworks the supervisorAll appraisals cover the same time period
DO EACH ONE ON THE EMPLOYEE’S “ANNIVERSARY” The appraisal process is spread over the whole yearAppraisals are not comparable…they don’t cover the same time period
WHO SHOULD CONDUCT THE APPRAISAL?
• IMMEDIATE SUPERVISOR• SUBORDINATES• COWORKERS (Peers)• OUTSIDERS
– Customers– Constituents– Consultants
• SELF-APPRAISAL• GROUPS or TEAMS
360 degree appraisal – from above & below; insiders & outsiders
AN APPRAISER MUST:
• BE AWARE OF THE OBJECTIVES & REQUIREMENTS OF THE EMPLOYEE’S JOB
• HAVE THE OPPORTUNITY TO FREQUENTLY OBSERVE THE EMPLOYEE OR HIS/HER WORK
• BE CAPABLE OF EVALUATING AND RECORDING OBSERVED WORK BEHAVIOR OR PERFORMANCE
• AVOID OR MINIMIZE POTENTIAL APPRAISAL ERRORS AND BIAS
THE FUNDAMENTAL ATTRIBUTION ERROR
POOR WORK PERFORMANCE BY OTHERSTHEIR POOR WORK PERFORMANCE IS CAUSED BY PERSONAL FACTORS (No effort, laziness, they didn’t try)
THE PERSON IS THE REASON FOR FAILURE
MY POOR WORK PERFORMANCEMY POOR WORK PERFORMANCE IS DUE TO SITUATIONAL FACTORS BEYOND MY CONTROL (Poor support, uncooperative coworkers, unforeseen events)
THE ENVIRONMENT IS THE REASON FOR FAILURE
Note the self-serving bias…we are not responsible for our failures, but others are responsible for theirs!
ATTRIBUTION THEORYKELLEY 73
IS THE CAUSE OF BEHAVIOR SEEN AS INTERNAL (PERSONAL) OR EXTERNAL (SITUATIONAL)? WE LOOK FOR THREE INDICATORS TO DECIDE.
DISTINCTIVEIS THIS PERSON’S PERFORMANCE DIFFERENT ON OTHER TASKS AND IN OTHER SITUATIONS? (YES = EXTERNAL, NO = INTERNAL)
CONSISTENTOVER TIME, IS THERE A CHANGE IN BEHAVIOR OR RESULTS ON THIS TASK BY THIS PERSON? (YES = EXTERNAL, NO = INTERNAL)
CONSENSUSDO OTHERS PERFORM OR BEHAVE SIMILARLY WHEN ASSIGNED A SIMILAR POSITION OR TASK? (YES = EXTERNAL, NO = INTERNAL)
Consistent “Yes” answers lead us to external attributions – Environmentally caused“No” answers lead us to internal attributions -- The person is responsible
ATTRIBUTIONAL MODEL OF FAILURE
INTERNAL ATTRIBUTION – Person Responsible?LACK OF ABILITYLACK OF EFFORT
EXTERNAL ATTRIBUTION – Situation Responsible?DIFFICULT TASKBAD LUCK
ENLIGHTENED SUPERVISOR RESPONSELACKS ABILITY-- Training or TransferLACKS EFFORT -- Reprimand or Motivational StrategyDIFFICULT TASK -- Job RedesignBAD LUCK -- Sympathy and Support
APPRAISAL ERRORS
FUNDAMENTAL ATTRIBUTION ERRORHALO & HORN EFFECTSRECENCY EFFECTCONTRAST EFFECTSTATUS EFFECTPROJECTION EVALUATOR PREJUDICEDISTRIBUTION (RANGE) ERRORS
Leniency, Strictness, or Central Tendency
USE OF INVALID APPRAISAL MEASURES
THREE FOCAL POINTS OF APPRAISAL
1. PERSONAL TRAITS AND CHARACTERISTICS+ inexpensive to develop and use+ not specialized by position; one form for all workers- high potential for bias and rating errors - not very useful for feedback or development - not easily justifiable for reward/promotion decisions
2. JOB BEHAVIOR AND ACTIVITY + can focus on specific duties listed in the job description+ intuitively acceptable to employees and superiors+ useful for providing feedback+ seem fair for reward and promotion decisions- are time consuming to develop and use- can be costly to develop- have some potential for rating error and bias
THREE FOCAL POINTS OF APPRAISAL CONTD
3. WORK RESULTS AND OUTCOMES
+ less subjectivity bias+ acceptable to employees and superiors+ links individual performance to organizational objectives+ seem fair for reward and promotion decisions- are time consuming to develop and use- may encourage a short-term perspective- may use deficient or inappropriate criteria
APPRAISAL METHODS
NARRATIVESESSAYSCRITICAL INCIDENTS
RANKING COMPARISONSALTERNATIONPAIRED COMPARISONS
CHECKLISTSSIMPLEWEIGHTED
RATING SCALESGRAPHIC RATING SCALESBEHAVIORALLY ANCHORED RATING SCALES (BARS)BEHAVIORAL OBSERVATION SCALES (BOS)
OBJECTIVE MEASURESNATURAL COUNTS (Quantity produced, etc)GOALSETTING STANDARDS (MBO, etc)
MANAGEMENT BY OBJECTIVES
BENEFITSA basis for effective organizational planning and controlImproves communication and feedback with the supervisorEncourages participation and joint decision-makingFacilitates role clarification by revealing assessment criteria
PROBLEMSAre the really important (key) areas of the job included?Is the process participative or are goals “set” for the worker?Can the worker truly control the outcomes s/he achieves?Overemphasizes quantitative, short-term, individual objectives
GOALSETTING ISSUES
GOAL DIFFICULTYHow challenging should the work objectives be? I want an easy goal, but the organization wants me to “stretch.”
ACCEPTANCEWill workers feel committed to work toward objectives that have been assigned to them, rather than those set participatively?
SPECIFICITYPrecise quantitative indicators may not exist for critical elements of the job. General, open-ended goals are not easily assessed.
MOTIVATIONObjectives should be challenging, yet reachable. They also need to be linked to desirable rewards to successfully motivate workers.
GUIDELINES FOR APPRAISALS
1. Appraisal standards are job related -- based on job analysis2. Standards are clearly communicated to employees in advance3. Standards are responsive to actual worker behavior or effort4. Activities performed and results achieved are both appraised5. Acceptable vs. unacceptable results can clearly be discerned6. Appraisal criteria are consistently applied7. Raters are able to consistently observe work performance8. Raters are trained in appraisal and how to feedback results9. Developmental feedback is separated from judgmental appraisal10. An appeal process exists to resolve (judgmental) rating disputes
WORKER EXPECTATIONS TODAY
WORKER “RIGHTS”• EMPLOYMENT• DUE PROCESS• EXPRESSION• PRIVACY• SAFE WORK ENVIRONMENT• EQUAL OPPORTUNITY• JUST WAGES• ORGANIZE
EMPLOYER OBLIGATIONS TO WORKERSJUSTICE/FAIRNESSNON-INJURYTREATMENT WITH DIGNITY & RESPECT
WORKER OBLIGATIONS TO EMPLOYERSLOYALTYOBEDIENCECONFIDENTIALITY
WORKER OBLIGATIONS TO THIRD PARTIESTRUTHFULNESSNON-INJURYFAIRNESS
RESOLVING WORK DISPUTES… THE “DUE PROCESS” OBLIGATION
ARE WORKERS TREATED WITH DIGNITY AND RESPECT?
IS THERE AN INVESTIGATION OF THE FACTS BEFORE ANY ACTIONS ARE TAKEN?
IS THE JUDGMENT APPROPRIATE, GIVEN ALL THE FACTS?
IS THERE AN AVENUE OF APPEAL?CHAIN-OF-COMMAND“OPEN DOOR” POLICYOMBUDSPERSONPEER REVIEW PANELARBITRATION
THE RIGHT TO WORK
DERIVED FROM BASIC RIGHTS TO LIFE, DEVELOPMENT, & RESPECT
A “RIGHT” TO EMPLOYMENT MAY ARISE WHEN:Labor supply exceeds demandNo alternative ways to earn a living exist, except to work for othersExtended families (which share resources) do not exist, or break down
“EMPLOYMENT AT WILL” DOCTRINEThere is no contract.Either member can terminate the relationship at any time
THREE EXCEPTIONSPUBLIC POLICY
Refuse to commit crimes, testify to authorities, blow the whistleCONTRACT
Written or implied by letters, handbook or oral assurancesBREECH OF GOOD FAITH
Is this fair? Was an opportunity given to improve?
IS THE DISCIPLINARY PROCESS “FAIR?”
ATTRIBUTIONAL MODEL OF FAILUREIs the person at fault, or is it the situation that has created the problem?
“Fundamental Attribution Error” --- blames the person most of the time
IS POOR WORK PERFORMANCE ATTRIBUTED TO:PERSON
LACK OF ABILITYLACK OF EFFORT
ENVIRONMENTDIFFICULT TASKBAD LUCK
SUPERVISOR RESPONSE TO FAILURELACK OF ABILITY – CONSIDER TRAINING OR TRANSFERLACK OF EFFORT – CONSIDER DISCIPLINE OR MOTIVATIONAL PLANA DIFFICULT TASK – CONSIDER JOB REDESIGNBAD LUCK – OFFER SYMPATHY AND SUPPORT
DISCIPLINARY MISTAKES MADE BY SUPERVISORS
1. Rules and procedures are not formalized (written down)2. Workers don’t know what the rules are (not communicated)
clearly)3. Supervisor is too lenient early, and too strict later4. Supervisor “chews out” (disciplines) employees in public5. No objective investigation of facts prior to discipline6. No opportunity for employee to state his/her side of the story7. No avenue of appeal available8. No records kept of previous incidents or rule violations
WRITTEN RECORDS OF VIOLATIONS SHOULD INCLUDE:
1. A statement of the facts … what happened?2. Identify the rule violated3. What damages did, or could have resulted from this action?4. Previous violations by this employee5. Future consequences if this happens again6. The worker’s version of the incident7. The worker’s signature and date
TWO PHILOSOPHICAL OBJECTIVES RE: PROBLEM EMPLOYEES & DISCIPLINE
CORRECTIONTry to change behavior or outcomesResults or actions must be “corrected!”
RETRIBUTION (PUNISHMENT)One must bear the consequences of one’s actionsThere is a “price” to pay when mistakes are madeThe offending parties need to “feel real bad” about what happened!
TWO TYPES OF WORK-RELATED DISCIPLINE PROBLEMS
POOR WORK PERFORMANCEINAPPROPRIATE PERSONAL CONDUCT
PROBLEM EMPLOYEES
POOR WORK PERFORMANCELACK OF ABILITY?LACK OF MOTIVATION?TASK IS TOO DIFFICULT?UNFORSEEN OBSTACLES?
INAPPROPRIATE PERSONAL CONDUCT
ALCOHOLISM & DRUG ABUSEPERSONAL PROBLEMS?…WILLING TO REHABILITATE?
THEFT, VANDALISM, HARASSMENT & ILLEGAL ACTSDO WE HAVE GOOD EVIDENCE?…WHAT MOTIVATED THEM TO DO THIS?
HORSEPLAY AND BREAKING COMPANY RULESDELIBERATE OR UNINTENTIONAL?…ARE THE RULES LOGICAL AND FAIR?
SHOULD WORKERS BE DISCIPLINED FOR…
Theft and/or breaking the law?Violation of company policies and procedures?Lateness and absenteeism?Inefficiency and low productivity?Lack of ability and skills?Disloyalty – blowing the whistle?Incompatibility with management?Economic downturn?
How large should the “punishment” be in each case?Should workers face potential job loss for these reasons?
ARBITRATORS NORMALLY CONSIDER:
• NATURE OF THE OFFENSE
• DUE PROCESS PROCEDURES—ARE THERE ANY AND WERE THEY FOLLOWED?
• KNOWLEDGE OF RULES BY WORKERS
• CONSISTENCY IN ENFORCEMENT OF RULES
• PAST RECORD AND PREVIOUS WARNINGS
• LENGTH OF SERVICE WITH THE COMPANY
• SIGNS OF DISCRIMINATORY TREATMENT
EMPLOYER OBLIGATIONS, CONTD
TO ASSIST THE FORMER EMPLOYEE:
JOB LOSS DUE TO:
POOR WORK PERFORMANCEPOOR PERSONAL CONDUCTECONOMIC DOWNTURN
SHOULD THE EMPLOYER PROVIDE?
ADEQUATE NOTICE?SEVERANCE PAY?ASSISTANCE IN FINDING A NEW JOB?JOB RETRAINING/RETOOLING?
DISCIPLINARY ACTION GUIDELINES
DON’T JUMP TO CONCLUSIONS – GET ALL THE FACTS FIRST
BE A GOOD LISTENER
BE PROMPT IN DEALING WITH THE ISSUE
COMMUNICATE WHICH BEHAVIORS ARE DESIRABLE
THE ACT, NOT THE PERSON, SHOULD BE CONDEMNED
DISCIPLINE SHOULD BE ADMINISTERED IN PRIVATE
TACTFULLY WATCH TO SEE WHETHER BEHAVIOR IMPROVES